This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

PENNFIELD CAPITAL CORP

Current firm class

former SEC adviserderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jun 29, 1982earliest registration or exam on IAPD

Years in industry

44derivedfrom the industry start date

Years at current firm

18derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S63

First exam

Jun 29, 1982

First registration

Feb 13, 2003

Dual registered

no

Other names

RICHARD MARSHALL MOCK

IAPD individual key

734387

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e26b51f1-1d45-1033-c712-3cdd72ec0dab

First observed

Feb 13, 2003

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.